The SEC Office of the Whistleblower post Notices of Covered Action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award.Once a Notice of Covered Action is posted, individuals have 90 calendar days to apply for an award.

View the updated list below:  

The previous SEC award postings.

NOTICE NO. ACTION NOTICE DATE CLAIM DUE DATE
2015-12 In the Matter of Standard & Poor’s Rating Services
Administrative Proceeding File No.: 3-16348
Case Filed: January 21, 2015
Qualifying Judgment/Order: January 21, 2015
1/27/2015 4/27/2015
2015-11 In the Matter of Standard & Poor’s Rating Services
Administrative Proceeding File No.: 3-16346
Case Filed: January 21, 2015
Qualifying Judgment/Order: January 21, 2015
1/27/2015 4/27/2015
2015-10 In the Matter of EDGA Exchange, Inc., and EDGX Exchange, Inc.
Administrative Proceeding File No.: 3-16332
Case Filed: January 12, 2015
Qualifying Judgment/Order: January 12, 2015
1/27/2015 4/27/2015
2015-9 SEC v. Michael B. Ferguson and Transactions Unlimited
Case Number: 14-cv-04188 (United States District Court for the Northern District of California)
Case Filed: September 29, 2014
Qualifying Judgment/Order: November 13, 2014
1/27/2015 4/27/2015
2015-8 SEC v. John N. Irwin, CPA and Jacklin Associates, Inc.
Case Number: 11-cv-04429 (United States District Court for the Eastern District of Pennsylvania)
Case Filed: July 11, 2011
Qualifying Judgment/Order: December 19, 2014
1/27/2015 4/27/2015
2015-7 SEC v. Alternative Green Technologies, Inc., Mitchell Segal, Belmont Partners, LLC, Joseph M, Howard Borg, David Ryan, Vikram Khanna, and Panascope Capital Inc.
Case Number: 11-cv-09056 (United States District Court for the Southern District of New York)
Case Filed: December 12, 2011
Qualifying Judgment/Order: December 15, 2014
1/27/2015 4/27/2015
2015-6 SEC v. Larry R. Polhill
Case Number: 13-cv-01729 (United States District Court for the Central District of California)
Case Filed: September 24, 2013
Qualifying Judgment/Order: December 6, 2014
1/27/2015 4/27/2015
2015-5 SEC v. Bill C. (Billy) Crafton, Jr.
Case Number: 14-cv-02916 (United States District Court for the Southern District of California)
Case Filed: December 10, 2014
Qualifying Judgment/Order: December 17, 2014
1/27/2015 4/27/2015
2015-4 SEC v. Heart Tronics, Inc., Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch
Case Number: 11-cv-01962 (United States District Court for the Central District of California)
Case Filed: December 21, 2011
Qualifying Judgment/Order: December 10, 2014
1/27/2015 4/27/2015
2015-3 SEC vs. Brian N. Hollnagel and BCI Aircraft Leasing, Inc.
Case Number: 07-cv-04538 (United States District Court for the Northern District of Illinois)
Case filed: August 13, 2007
Qualifying judgment/order: December 18, 2014
1/27/2015 4/27/2015
2015-2 In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-16310
Case Filed: December 10, 2014
Qualifying Judgment/Order: December 10, 2014
1/27/2015 4/27/2015
2015-1 In the Matter of Bruker Corporation
Administrative Proceeding File No.: 3-16314
Case Filed: December 15, 2014
Qualifying Judgment/Order: December 15, 2014
1/27/2015 4/27/2015